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Financial Services Litigation

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Our Clients

Katten's Financial Services Litigation team provides thoughtful, effective and efficient representation to members of the financial services industry ranging from the largest global investment banks to individual investment professionals. Our clients include swaps and foreign exchange dealers, broker-dealers, futures commission merchants, national securities exchanges and their members, sponsors of alternative trading systems, registered investment advisers, hedge fund managers, proprietary trading firms, clearing firms, and officers and directors of these organizations.

Our Services

Katten's financial services litigators, many of whom are former federal prosecutors and regulators, have successfully litigated complex, high-stakes disputes in federal and state courts across the country, and before administrative law judges, business conduct committees and arbitration panels. We understand the structure, risk and regulatory context of the full spectrum of financial products, from exchange-traded securities, options, futures and funds, to the most sophisticated over-the-counter (OTC) swaps and derivatives. We also have a deep understanding of floor-based open-outcry trading venues, fully electronic trading platforms and clearinghouses, and traditional OTC dealer-to-dealer markets.

Katten attorneys frequently represent clients in Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Department of Justice (DOJ) investigations and enforcement actions, self-regulatory organization (SRO) regulatory disputes, administrative proceedings and private civil litigation. We have particular experience in planning, conducting and reporting the results of internal investigations for boards of directors, audit committees and special litigation committees. We have investigated allegations of insider trading, front-running, market manipulation, improper order internalization, unethical floor trading and sales practices, disruptive trading, mismarking of securities, and inadequate or misleading investment disclosures.

We represent financial services clients in disputes arising out of all aspects of their businesses, including mergers and acquisitions, customer and competitor complaints, shareholder class actions and derivative claims, employee controversies, and intellectual property disputes.

Our industry knowledge and trial skills produce results: The Financial Services Litigation team crafts and executes effective litigation and dispute resolution strategies that are tailor-made to serve our clients' broader business objectives.

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SIFMA C&L Annual Seminar | Phoenix, Arizona
February 28, 2018
November 2–3, 2017
November 1, 2017
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FIA Futures and Options Expo | Chicago, Illinois
October 6, 2015
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Hedge Funds Under Siege | New York, New York
June 11, 2013
March 17–20, 2013
Financial Services Litigation


BTI Litigation Outlook 2018

Securities and Finance Litigation Honor Roll
Legal 500 US – Financial Services: Litigation
Financial Services: Litigation, 2016–2019
National Law Journal, Elite Trial Lawyers 2015
Honoree, 2015
Chambers Global – Investment Funds: Hedge Funds
Investment Funds: Hedge Funds, 2014
Legal 500 UK – Financial Services
Financial Services, 2012
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BTI Litigation Outlook 2018

Securities and Finance Litigation Honor Roll
Financial Services: Litigation, 2016–2019
Honoree, 2015
Investment Funds: Hedge Funds, 2014
Financial Services, 2012
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